Job Description
:The Business Governance & Controls (BG&C) team is responsible for first line oversight within the Canadian Retail Advice and Solutions (RAS) business and works closely with advisors and field leaders to help advisors build and maintain compliant business practices, meet evolving regulatory expectations, all while putting the Client’s interests and experience first.
Reporting to a Manager, Trade Supervision Oversight, this Trade Supervision Manager (“TSM”) is part of a team which provides first-line oversight of trading and other activities of advisors and field leaders to ensure we are meeting regulatory obligations and Sun Life policies.
What will you do?
Conduct Tier 1 supervision activities, including daily and monthly trade reviews, close supervision and new registrant supervision.
Effectively managing queries and other tasks to support trade supervision within the broader team.
Through daily trade review activities identify and help resolve issues impacting risk, regulatory requirements, and our policies and procedures.
Proactively identify issues and coaching opportunities for field leaders and advisors to improve compliance outcomes.
Proactively identify and share opportunities for improvement in policies, processes, tools, and reporting across the compliance ecosystem
Collaborate with Trade Supervision team members and with other BG&C colleagues to achieve BG&C objectives.
Complete other duties as assigned.
What do you need to succeed?
Must have:
Bilingualism (French, English, both oral and written) is required for the frequent interactions with English and French-speaking colleagues or internal partners across Canada and worldwide
Mutual Fund Dealer Branch Manager proficiency which includes 2 years experience in a registered capacity
Strong knowledge of and experience with mutual fund industry compliance standards and practices
Completion of any one of the following exams:
Requirement 1: One course from the Branch Manager group:
- Branch Manager's Course Exam (CSI), OR
- Mutual Fund Branch Manager's Examination Course Exam (IFSE), OR
- Branch Compliance Officers Course Exam (CSI)
Requirement 2: One course from the Dealing Representative group:
- Canadian Investment Funds Course Exam, OR
- The Canadian Securities Course Exam, OR
- The Investment Funds in Canada Exam
Requirement 3: 2 years of registered experience
Assets:
Excellent organization and time management skills
High degree of integrity and ethics; good judgement
Interpersonal and communication skills
Investment Dealer Branch Manager Proficiency is an asset
What's in it for you?
The opportunity to move along a variety of career paths with amazing networking potential
Flexible Benefits from the day you join to meet the needs of you and your family
We’re committed to creating an inclusive and respectful environment. Our goal is to make sure all our employees have the chance to live up to their full potential
We’re honoured to be recognized as a 2025 Best Workplaces in Ontario by Great Place to Work® Canada
We are thrilled to be recognized by Excellence Canada with their top-level certification, the Canada Order of Excellence for Mental Health at Work®, for prioritizing employee well-being, fostering a positive work culture, and achieving excellence in mental health
*LI-MS
Bilingual Trade Supervision Manager • Saint John, New Brunswick
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